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Assistant Compliance Officer

2 months ago

Wellesley Hills, United States Needham Bank Full time
Job Description
Under the direction of the Compliance Officer, conduct monitoring and periodic testing of compliance with laws and regulations in line with the Bank's compliance monitoring program. The incumbent will be responsible for overseeing quality control processes for/within business lines and for continuously improving a comprehensive compliance program to support enterprise-wide strategic goals and objectives of the Bank. The position will interact with Senior Leadership and management at all levels and work with to ensure that policies and procedures meet legal, regulatory, and governance requirements.

ESSENTIAL DUTIES & RESPONSIBILITIES
  • Designs, leads, executes and manages Needham Bank's day-to-day compliance testing & monitoring function for all regulations, while providing oversight of quality control processes for/within business lines across the Bank. Develops/drives reporting and MIS to inform management of the results of risk monitoring activities.
  • Promotes and supports the Bank's strong control and compliance culture, while assisting management in advancing the Bank's strategic plans and the Department's strategic priorities. Demonstrates strong drive in proactively advancing Compliance-related initiatives.
  • Builds collaborative working relationships to understand core business activities and processes, as well as key risks, products, and transactions that pertain to the Bank's compliance framework and risk assessment activities. Strives to become a trusted advisor of management in supporting the Bank's business objectives.
  • Effectively manages, develops, and coaches assigned team members. Drives engagement, advances a culture of teamwork and accountability, while motivating team members to higher levels of performance.
  • Conducts/assists with relevant training for Bank personnel on compliance responsibilities.
  • Assists the Compliance Officer in working with Internal Auditors and regulatory examiners collecting and preparing documents requested for audits and exams, and supporting others across the Bank on matters relating to the Compliance Program, audits, and exams.
  • Participates in key strategic projects across the Bank and provides compliance support to assist management with new products, system upgrades, or operational changes.
  • Stays abreast of evolving compliance initiatives/requirements, best practices, and trends, including preventive tools and techniques.
  • Participates in the Bank's Compliance Committee meetings.
  • Performs additional duties as requested, needed, or assigned.
Experience and Skills
JOB REQUIREMENTS
  • Strong leadership skills, including experience in managing, developing, coaching, and motivating team members, while promoting teamwork and a spirit of continuous improvement.
  • Demonstrated ability to build business partnerships and collaborative working relationships with management, vendors, and other stakeholders.
  • Effective verbal communication and business writing abilities, with the capability to effectively present information to varied audiences, including Board members, executives, employees at all levels, vendors, other stakeholders, and regulators.
  • Effective management skills, including the ability to handle multiple projects simultaneously as well as the ability to plan, organize, and ensure the completion of work assignments with appropriate attention to detail.
  • Excellent analytical skills, including the ability to define problems, collect data, establish facts and draw valid conclusions.
  • Deep knowledge of banking regulations and compliance requirements and must stay current with changes in laws and regulations and implement changes in a timely manner.
  • Extensive ability to read, analyze and interpret government regulations, trade journals, and legal documents
  • Extensive knowledge of bank operations, policies and procedures
  • Ability to adhere to Needham Bank's Core Values
EDUCATION & EXPERIENCE
  • Bachelor's Degree or its equivalent plus specialized course work and training
  • Minimum of 3-6 years of demonstrated compliance experience in the financial services industry
  • Certified Regulatory Compliance Manager (CRCM) designation
WORKING CONDITIONS/PHYSICAL DEMANDS
  • Normal business office environment

Needham Bank offers a competitive salary and an amazing benefit package for a full-time employee which includes fully paid medical and dental insurance, HRA, 401(k) plan with an 8% bank match, paid time off (PTO), paid holidays, a bonus program, flexible spending accounts, vision service plan, group term life insurance, short and long term disability insurance, tuition reimbursement, and an Employee Assistance Program. We offer a great benefit package to our eligible part-time employees as well.

At NB, we are dedicated to building a diverse, inclusive and authentic workplace - if you are excited about this role, but your past experience doesn't align perfectly with every qualification in the job description, we still encourage you to apply. You may be just the right candidate for this or other roles.

Needham Bank is an Equal Opportunity/Affirmative Action Employer. Needham Bank will provide all applicants for employment and all employees with equal opportunity for employment and promotion regardless of race, color, religion, gender, national origin or ancestry, age, disability, veteran status, military service, sexual orientation, genetic information, or gender identity.